Complaints

The complaint text that is displayed might not represent all complaints filed with BBB. Some consumers may elect to not publish the details of their complaints, some complaints may not meet BBB's standards for publication, or BBB may display a portion of complaints when a high volume is received for a particular business.

• Initial Complaint

  Date:06/12/2025

  Type:Customer Service Issues
  Status:

  ResolvedMore info

  Complaint statuses

  Resolved:

  The complainant verified the issue was resolved to their satisfaction.

  Unresolved:

  The business responded to the dispute but failed to make a good faith effort to resolve it.

  Answered:

  The business addressed the issues within the complaint, but the consumer either a) did not accept the response, OR b) did not notify BBB as to their satisfaction.

  Unanswered:

  The business failed to respond to the dispute.

  Unpursuable:

  BBB is unable to locate the business.

  I have an investment with Broadridge Financial Solutions. I am 85 years of age and I have misplaced my original investment paperwork. I have tried to make contact with Broadridge, but this company has made it extremely difficult to talk to anyone. I am in financial distress at the moment and am trying to close my investment account out and cash it in. I would like supervision to contact me by phone in order to accomplish this. Everyone has a grandmother and knows how difficult these types of companies can make things with the elderly. I would respectfully ask for the BBBs assistance with this issue. Thank you for your time. Sent from Yahoo Mail for iPhone

  Business Response

  Date: 07/10/2025

  Dear ****** *****,
  
  We write in response to your above-identified complaint to the BBB, dated June 27, 2025, about our company, Broadridge Corporate Issuer Solutions (Broadridge).
  
  We apologize for any difficulties you experienced in trying to reach Broadridge to discuss your late fathers shareholder account. This letter is to confirm that we contacted you by telephone on July 7, 2025 to discuss the account. During the call, we provided you with instructions on how to re-register the shares into your name so that you may transact on them. An account statement and the Broadridge Legal Transfer Form have been mailed to your address so that you may complete the transfer process.
  
  If you have any additional questions or need further assistance, please call us at ************** between 9AM to 6PM Eastern Time and we would be happy to further assist you.
  
  Sincerely,
  Broadridge Corporate Issuer Solutions

  Customer Answer

  Date: 07/11/2025

  Better Business Bureau:
  
  I have reviewed the response made by the business in reference to complaint ID ********, and find that this resolution is satisfactory to me and the matter has been resolved.
  
  Sincerely,
  
  ****** *****
  
  
  
   
  
  

• Initial Complaint

  Date:01/26/2024

  Type:Product Issues
  Status:

  UnansweredMore info

  Complaint statuses

  Resolved:

  The complainant verified the issue was resolved to their satisfaction.

  Unresolved:

  The business responded to the dispute but failed to make a good faith effort to resolve it.

  Answered:

  The business addressed the issues within the complaint, but the consumer either a) did not accept the response, OR b) did not notify BBB as to their satisfaction.

  Unanswered:

  The business failed to respond to the dispute.

  Unpursuable:

  BBB is unable to locate the business.

  I have 360 shares of ************************* stock, Broadridge Corporate ****************, *** is the transfer agent registrar for this common stock. Broadridge sent me a letter where they wanted me to inform them, I was still alive around November 2021. I completed it and sent back December 2021, Broadridge then sent me a letter acknowledging they received my document but still sold my Peregrine stock and then transferred it over to the *********** as unclaimed property. They should not have sold my common stock and I want my shares back. I have documentation of all this. Case ID: ******* Acct # *********

• Initial Complaint

  Date:04/20/2023

  Type:Service or Repair Issues
  Status:

  AnsweredMore info

  Complaint statuses

  Resolved:

  The complainant verified the issue was resolved to their satisfaction.

  Unresolved:

  The business responded to the dispute but failed to make a good faith effort to resolve it.

  Answered:

  The business addressed the issues within the complaint, but the consumer either a) did not accept the response, OR b) did not notify BBB as to their satisfaction.

  Unanswered:

  The business failed to respond to the dispute.

  Unpursuable:

  BBB is unable to locate the business.

  I have been trying, unsuccessfully ,to complete a sale of shares I own which are held by Broadridge for over 5 months. Every time I contact them with the information they have requested they mention a new task I need to complete to proceed with the sale. And so on, for 5 months. During that time frame the value of the shares i own have dropped significantly and I still havent completed the sale.

  Business Response

  Date: 05/04/2023

  Dear ********************* ******,
  
  We write in response to your above-identified complaint to the BBB about our company, Broadridge Corporate **************** (Broadridge).
  
  We acknowledge that Broadridge received your request to sell F.N.*. Corporation shares held in an account at ******************** on December 6, 2022. Broadridge takes the security of shareholder accounts very seriously, and so when shares are registered to an entity e.g.a partnership, corporation, or trust rather than to an individual, we require additional documentation to support that the individual requesting a transaction is authorized to sign on behalf of the entity. The F.N.*.Corporation shareholder account from which you requested to sell shares is registered to an entity, ****************** not to you as an individual.
  
  Your December 6, 2022 sale request, submitted via fax, consisted of a Shareholder Sale Request Form signed by you. There was no supporting documentation submitted showing that you are authorized to sign on behalf of the partnership. We declined your request to sell and sent you a letter advising that we required a copy of the partnership agreement in addition to the sale request form. The partnership agreement should include the signatures of two authorized representatives of the organization and include the capacity in which they are signing and should have a visible partnership seal or a Medallion Signature Guarantee.
  
  We also advised you at that time that the account was in *** 2nd * Notice status. This means that twice previously the *** notified F.N.*. Corporation that the Taxpayer Identification Number (TIN) reported to them for dividends paid on the account did not match in their records to the registered name on the ****************************, as transfer agent for F.N.*. Corporation, was required to mark these two notifications (called *-notices) on the account and withhold 24% from any distributions made. This withholding could only be discontinued if you provided an *** Form 147C confirming the name of the partnership and its assigned TIN.
  
  On March 2, 2023 we received from you an *** Form W-9, however because we did not receive the *** Form 147C we could not update the tax status of the account. We received the *** Form 147C on March 23, 2023, and at that time tax certified the account and removed the * Notice.
  
  You submitted a complaint to our CEO in April 2023 and at that time we agreed to sell all shares in the account. We honored the trading price as of the date your first sale request was received. You received the average trading price of F.N.*.Corporation stock on December 6, 2022. The transaction was completed on April 24, 2023. All sale and brokerage fees were waived and the sale proceeds check was overnighted to the address on file for the account. As of the date of this letter, the check has not been cashed. We encourage you to do so at your earliest convenience. No additional price adjustments or compensation will be offered by Broadridge for this transaction.
  
  If you have additional questions, please call us at ************** between 9AM to 6PM Eastern Time and we would be happy to further assist you.
  
  Sincerely,
  Broadridge Corporate ****************

  Customer Answer

  Date: 05/04/2023

  Better Business Bureau:
  
  I have reviewed the response made by the business in reference to complaint ID# ********, and have determined that my complaint has NOT been resolved because:

  The response from Broadridge misrepresents the timeline and sequence of events which occurred while I was trying to sell the shares owned by ******** partners. It also attempts to place blame on me for the delay in sales, when in fact every step in the 4 month process which I performed was completed according to the direct instructions of a Broadridge employee via phone conversation. They obviously have not read their notes or listened to the recorded phone conversations. The letters that were sent by Broadridge to me always arrived approximately 4-6 weeks after the issue in the letter even occurred and were no longer relevant with the current dispute. Im glad they have admitted they were wrong by sending us the money we were due, but nowhere in the letter do I see an apology or description of steps they will take to change their processes so that this doesnt happen again. If nothing changes this may happen to another unsuspecting customer, perhaps without the time or resources I have had, and therefore they will be unable to ever obtain their money. Also since they have admitted I am due the money from the sale I requested per their instructions on 12/6, I do await the standard interest payment due when someones money is held for an extended period of time. I would expect the interest I would be charged if I owed the money to the IRS. 

   

  ********************* ******
  
  
  
  
   
  

• Initial Complaint

  Date:02/09/2023

  Type:Service or Repair Issues
  Status:

  UnansweredMore info

  Complaint statuses

  Resolved:

  The complainant verified the issue was resolved to their satisfaction.

  Unresolved:

  The business responded to the dispute but failed to make a good faith effort to resolve it.

  Answered:

  The business addressed the issues within the complaint, but the consumer either a) did not accept the response, OR b) did not notify BBB as to their satisfaction.

  Unanswered:

  The business failed to respond to the dispute.

  Unpursuable:

  BBB is unable to locate the business.

  Thriftline:My name is *******************************, daughter of *******************. I have contacted TSP and Broadridge processing on August 30, 2022 to submit my mother's death certificate as directed by your website. It also states that I would be contacted within 30 to ******************************************* mail within this time frame, I contacted you ( October 25, 2022). Via phone your company stated that it's 90 days.After 90 days I contacted your company again (November 28, 2022). At 112 day, I contacted you again (December 20, 2022). At 140 days I contacted you again (January 17, 20, 23). At 150 days I contacted you again (January 27, 2023). That last time stating that a form was generated and would get to me in **** days.I received this form on February 6, 2023, 5 months after sending in my mother's death certificate. It asked for information which I had stated in my initial fax sent on August 30, 2022.I called again today, February 8, 2023, because I saw on the form that you had me fill out, that there is a statement of timeliness just above where I signed, stating the *** would take 50% penalties if beneficiaries were not paid in a timely manner. I want reassurances that this will not be the case due to your lack of ability to complete your processes in any form of a timely manner. I have taken my complaint to you in hopes that you will do the appropriate thing and allow me and my family to grieve in peace without this being held hostage over our heads any longer. You have had more than any reasonable amount of time to complete what you need to do. It is shameful that this company is who represents veterans. In addition to having sent this to your complaint department, I have also forwarded this to my congressman ***************** at the 21st District in **********.******************************* Daughter of *******************, ************* Naval Veteran Daughter of *************************, ************* Naval Veteran

• Initial Complaint

  Date:09/12/2022

  Type:Billing Issues
  Status:

  ResolvedMore info

  Complaint statuses

  Resolved:

  The complainant verified the issue was resolved to their satisfaction.

  Unresolved:

  The business responded to the dispute but failed to make a good faith effort to resolve it.

  Answered:

  The business addressed the issues within the complaint, but the consumer either a) did not accept the response, OR b) did not notify BBB as to their satisfaction.

  Unanswered:

  The business failed to respond to the dispute.

  Unpursuable:

  BBB is unable to locate the business.

  I am the legal Executor of my deceased **************** My father held stock from this financial Institution that I am legally now the administrator of. Over a month ago I called this institution to discuss the procedure for acquiring this asset and was pointed to a form I needed to complete in which they would require a Medallion signature guarantee. In order to obtain this medallion signature I would need to be provided with an account statement. With EVERY OTHER financial institution I have dealt with, they have requested I provide them a copy of the Death Certificate of my deceased father and Letters Testamentary establishing myself as the Legal Executor of the Estate. With this institution, I am given the runaround and told they can only mail a statement to the address they have on file. They claim they sent this statement over a month ago, and yet here I am still waiting for this to arrive via snail mail. I have since called them two weeks ago and again I was told a statement would be mailed and here I am STILL waiting for this statement. There is simply no excuse nor legal reason for this unnecessary baloney from this institution and their continuing to deprive myself and the Estate of what I am legally entitled to

  Customer Answer

  Date: 09/12/2022

  Better Business Bureau:
  
  I have since finally received the requested statement today, resolving the issue
  
  Sincerely,
  
  *******************************